DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

L••• A•• R•••••••

Independent wealth managerHighlands Ranch, ColoradoCRD 328907SEC 801-129213websiteIAPD
Legal name L••• A•• R••••••• W••••• M••••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Nov 15, 2023 · 21 filings
SEC status approved since Dec 15, 2023
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$16.1M
derived; firm RAUM over IAPD count
Employees
18
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$129M as of May 7, 2026
Mar 7, 2024$75.4M then
HNW client RAUM$56.7M as of May 7, 2026
Mar 7, 2024$8.7M then
State-registered IARs (5.B.3)8 as of May 7, 2026
Mar 7, 20245 then
Employees (5.A)18 as of May 7, 2026
Mar 7, 202414 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 7 to 8
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$16.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
154derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$651,501derivedHNW RAUM over HNW clients
Average account
$94,469derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$72.1M56%
  • High-net-worth individuals$56.7M44%
Individual clients
1,141reported
HNW clients
87reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,363reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••••• L••• G••••••Highlands Ranch, CoJan 8, 202420 y1
C•••• T•••••• R•••••••Highlands Ranchv, CoJan 8, 202413 y2
E••••• D•••••• R•••••••Highlands Ranch, CoMay 22, 202426 y4
A••••• J•• S••••••Highlands Ranch, CoJun 18, 202413 y3
W•••••• W• M•••••Certified Financial PlannerHighlands Ranch, CoJan 1, 202517 y2
L••• T••••• G••••••Highlands Ranch, CoJan 3, 202524 y1
T••••• M•••••• R•••••••Highlands Ranch, Co Dec 12, 202510 y1
M•••••• W••••• G••••••Highlands Ranch, CoSep 2, 202613 y1
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••••• C••••• T•••••• · Managing Partner And Presidentcontrol
      since 01/2020 · owns 75% or more
    • V••••• P••• J••••• C••••••••• · Chief Compliance Officercontrol
      since 10/2023 · owns less than 5%
    • B••••• K•••• D••• · Vp Of Operations
      since 02/2023 · owns less than 5%
    • S••••••••• D••••• L••••• · Chief Growth Officer
      since 08/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    • L••• • R•••••••• I•••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Highlands Ranch, Co · principal722
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 101-250 to 101-250
      May 7, 2026 to Sep 4, 2026
    • Succession · false to unset
      May 7, 2026 to Sep 4, 2026
    • Accounts · 1,227 to 1,363
      Jan 2, 2026 to Mar 2, 2026
    • Advisory employees · 7 to 8
      Jan 2, 2026 to Mar 2, 2026
    • HNW clients · 83 to 87
      Jan 2, 2026 to Mar 2, 2026
    • Individual clients · 1,147 to 1,141
      Jan 2, 2026 to Mar 2, 2026
    • Employees · 16 to 18
      Jan 2, 2026 to Mar 2, 2026
    • State-registered IARs · 7 to 8
      Jan 2, 2026 to Mar 2, 2026
    • Discretionary RAUM · $104M to $129M
      Jan 2, 2026 to Mar 2, 2026
    • HNW RAUM · $47.8M to $56.7M
      Jan 2, 2026 to Mar 2, 2026
    • Individual RAUM · $56.7M to $72.1M
      Jan 2, 2026 to Mar 2, 2026
    • RAUM · $104M to $129M
      Jan 2, 2026 to Mar 2, 2026
    • Advisory employees · 6 to 7
      Dec 11, 2025 to Jan 2, 2026
    • Employees · 15 to 16
      Dec 11, 2025 to Jan 2, 2026
    • State-registered IARs · 6 to 7
      Dec 11, 2025 to Jan 2, 2026
    • Advisory employees · 7 to 6
      Nov 5, 2025 to Dec 11, 2025
    • Employees · 16 to 15
      Nov 5, 2025 to Dec 11, 2025
    • State-registered IARs · 7 to 6
      Nov 5, 2025 to Dec 11, 2025
    • Financial planning clients · 101-250 to 101-250
      Apr 16, 2025 to Jul 31, 2025
    • Accounts · 823 to 1,227
      Jan 22, 2025 to Apr 16, 2025
    • Advisory employees · 8 to 7
      Jan 22, 2025 to Apr 16, 2025
    • HNW clients · 58 to 83
      Jan 22, 2025 to Apr 16, 2025
    • Individual clients · 449 to 1,147
      Jan 22, 2025 to Apr 16, 2025
    • Employees · 17 to 16
      Jan 22, 2025 to Apr 16, 2025
    • Financial planning clients · 251-500 to 101-250
      Jan 22, 2025 to Apr 16, 2025
    • State-registered IARs · 8 to 7
      Jan 22, 2025 to Apr 16, 2025
    • Discretionary RAUM · $95.5M to $104M
      Jan 22, 2025 to Apr 16, 2025
    • HNW RAUM · $9.1M to $47.8M
      Jan 22, 2025 to Apr 16, 2025
    • Individual RAUM · $86.4M to $56.7M
      Jan 22, 2025 to Apr 16, 2025
    • RAUM · $95.5M to $104M
      Jan 22, 2025 to Apr 16, 2025
    • Other offices · 0 to 1
      Nov 18, 2024 to Jan 22, 2025
    • Advisory employees · 7 to 8
      Oct 15, 2024 to Nov 18, 2024
    • Employees · 16 to 17
      Oct 15, 2024 to Nov 18, 2024
    • State-registered IARs · 7 to 8
      Oct 15, 2024 to Nov 18, 2024
    • Advisory employees · 5 to 7
      Jun 25, 2024 to Jun 27, 2024
    • Employees · 14 to 16
      Jun 25, 2024 to Jun 27, 2024
    • State-registered IARs · 5 to 7
      Jun 25, 2024 to Jun 27, 2024
    • Accounts · 921 to 823
      May 9, 2024 to Jun 25, 2024
    • HNW clients · 65 to 58
      May 9, 2024 to Jun 25, 2024
    • Individual clients · 496 to 449
      May 9, 2024 to Jun 25, 2024
    Signals
    5 dated events
    • T•••••• A••• T•••• left L••• A•• R••••••• for T••••••• A••••••• (registered 2026-06-10)
      May 7, 2026 · Advisor changed firm · fact
    • J•••• C••••••••• V••••• P•• left L••• A•• R••••••• for L•• W••••• P•••••••• L•• (registered 2026-01-08)
      Dec 1, 2025 · Advisor changed firm · fact
    • 3 advisors left A• W••••• M••••••••• L•• (Highlands Ranch, CO) for L••• A•• R••••••• on the same day
      Jun 13, 2024 · Team lift-out · derived
    • C•••••• P•••••• F•••••••• left L••• A•• R••••••• for Lido (registered 2024-01-23)
      Feb 2, 2024 · Advisor changed firm · fact
    • L••• A•• R•••••••• I••• filed its initial SEC registration (Form ADV)
      Nov 15, 2023 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business email
    info@lordandrichards.comreportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/lord-and-richardsreportedpublic record, Form ADV, Sep 18, 2026
    Website
    lordandrichards.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    720-214-6801reportedpublic record, Form ADV, Sep 4, 2026
    Contact form
    lordandrichards.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    lordandrichards.com/teamreportedpublished by the firm, firm site, Sep 16, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $16.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026